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Cartes professionnelles des personnes physiques autres que celles de responsable de la conformité et du contrôle interne ou de responsable de la conformité pour les services d’investissement et cartes professionnelles des collaborateurs d’une entreprise de marché, d’un gestionnaire de système multilatéral de négociation, d’un système organisé de négociation, d’une chambre de compensation ou d’un dépositaire central de titres

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Why regulation will dominate the industry over the next 20 years July 18, 2019
The reverberations of Mifid II and the FCA's Asset Management Market Study will be felt for many years to come. The challenge for the industry will be ...
CSSF on mandatory notifications in the no-deal Brexit context July 18, 2019
UK firms (currently authorised under CRD, MiFID II, PSD 2 or EMD). In the context of business continuation of such UK firms, the CSSF has highlighted ...
CYPRUS: Woodbrook Group announces acquisition of Mondial (Dubai) LLC July 18, 2019
Mondial has a highly transparent regime and Woodbrook, coming from a European MiFID environment with strong compliance, further fortifies our ...
Rothschild takes minority stake in top UK broker July 18, 2019
Mifid II, which came into effect last January, meant that investment research had to be unbundled from other broker services, to improve transparency.
ESMA reports on FinTech firm licensing regimes across Europe July 18, 2019
NCAs also mentioned potentially amending MiFID II to clarify the position in relation to social trading (a form of investing which permits investors to ...
Rothschild concludes its research on Redburn July 17, 2019
The accounts said that the drop in income reflected “not only the impact of Mifid II, but also a period of low market activity” and significant structural ...
Investor cost disclosure under the microscope July 17, 2019
... feedback on investor protection issues, primarily the impact of cost disclosure requirements that were introduced under reforms known as MiFID II.
Rothschild buys stake in UK equity research house Redburn July 17, 2019
A number of asset managers complain that the quality of research has dropped following the introduction of Mifid II and the price they are willing to pay ...
CSSF gives UK 12 months to wrap up business after hard Brexit July 17, 2019
... MiFID II and AIFMD – that they will be considered as “third-country firms” from the moment the UK leaves the EU if there is no withdrawal agreement.
ESMA Launches Call For Evidence On Certain Investor Protection Topics In The Context Of The ... July 17, 2019
Article 90 of MiFID II provides that the Commission shall, after consulting ESMA, present a report to the European Parliament and the Council on, inter ...